论我国证券监管中有奖举报制度的完善  

Perfection of Prize-giving Whistle-blowing System in China Securities Regulation

作　　者：刘沛佩[1] 

机构地区：[1]上海证券交易所法律部,上海200120

出　　处：《证券市场导报》2017年第5期55-63,77,共10页Securities Market Herald

基　　金：国家社科基金青年项目<非上市公众公司治理指引研究>(项目编号:15CFX060)的阶段性研究成果

摘　　要：作为法律实施中私人监督的一种表现形式,举报越来越成为证监会监管执法的重要线索来源。有奖举报制度在证券监管领域已实行了十余年,但由于我国相关法律制度的不完善,举报人的积极性不高,监管部门通过知情人举报来获取相关线索和证据的比例依然偏低。借鉴美国证券监管中有奖举报的制度经验,在我国有奖举报制度构建中,可以从厘清有奖举报制度的正当性判断入手,建立对举报内容真实性和举报目的正当性的判断标准,通过相关规则给举报人以适当的行为指引,并对有奖举报具体制度和实施的外部保障进行规则完善,以此提升有奖举报制度对于证券监管效能发挥的"软实力"。As a manifestation of private supervision in the implementation of the law, whistle-blowing system has become an important clue to the regulation and enforcement of the CSRC. The Prize-giving Whistle-blowing System has been practiced for more than ten years in the field of securities regulation. However, due to the imperfection of the relevant legal system and the enthusiasm of the whistleblowers, the proportion of obtaining relevant clues and evidence through the insider＇s report is still low. Learning from the institutional experience of prize-giving whistle-blowing system in America, it is recommended to start from the judgment of the legitimacy of the prize-giving whistle-blowing system and establish the judgment standard of the authenticity of the content and the legitimacy of the purpose of the whistle-blowing. Besides, it＇s important to establish the behavior guidance to the whistleblower through the relevant rules, and make the perfection of specific system and the external protection of the implementation of the system through the rules to enhance the ＂soft power＂ for securities regulation.

关 键 词：证券监管 有奖举报 举报制度 证券执法 

分 类 号：DF438[政治法律—经济法学]